Page last updated: 19 July 2024

Consultations

Consultation is an important part of our policy development process. Our consultation is designed to encourage quality engagement from interested businesses and individuals, balanced with the need to complete policy work within the required timeframe. When consulting on policy development we will:

post upcoming consultation on our homepage calendar as they are scheduled
publish consultation documents that clearly describe the issue we’re seeking feedback on
provide a reasonable amount of time for respondents to provide quality feedback. If you need more time, please contact the FMA
publish the feedback we receive through consultation, usually via a summary of the key themes, our response and the names of submitters
undertake further consultation if our initial proposal changes significantly and we need additional feedback
publish a regulatory impact statement for significant policy decisions

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Found 113 results. Displaying page 7 of 8

Closed - with decision

5 June 2015

Consultation paper: Proposed financial reporting exemptions for small and medium-sized DIMS providers

Consultation paper: Proposed financial reporting exemptions for small and medium-sized DIMS providers. We consulted on a class exemption for small and medium-sized licensed DIMS providers from certain financial reporting obligations. This consultation is now closed.
Closed - with decision

21 May 2015

Consultation paper: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion

Consultation paper: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion. Read the full consultation paper here.
Closed - with decision

14 April 2015

Consultation Paper: Derivatives Issuer Standard Condition on Suitability

We have reviewed the feedback and updated the standard conditions. The new standard condition (no.12) comes into effect on 1 December 2015.
Closed - with decision

13 March 2015

Consultation paper: Financial Markets Conduct Act exemptions

Consultation paper: Financial Markets Conduct Act exemptions. We sought comments on matters we believe should receive support through the FMA’s legislative tools, but for which we have yet to develop policy proposals. Read more here.
Closed - with decision

3 March 2015

Consultation Paper - Disclosing non-GAAP financial information

Consultation Paper - Disclosing non-GAAP financial information. Read more here.
Closed - with decision

20 February 2015

Consultation paper: Going Public – A Director’s Guide

Going Public – A Director’s Guide is intended to help directors assess whether going public is the right choice for their company and to provide an insight into the process of becoming a public company.
Closed - with decision

20 February 2015

Consultation paper: Content and form of Disclose register information

Consultation paper: Content and form of Disclose register information. The submissions have now been considered and integrated into a guidance note. Read more.
Closed - with decision

29 January 2015

Consultation: Proposed additional standard conditions for Authorised Financial Advisers

Consultation: Proposed additional standard conditions for Authorised Financial Advisers. Read more here.
Closed - with decision

1 January 2015

Consultation: Request for Comment on Proposed AFA Adviser Business Statement Guide (Version 2)

Consultation: Request for Comment on Proposed AFA Adviser Business Statement Guide (Version 2). Read more here.
Closed - with decision

22 December 2014

Consultation Paper: Update of Guidance Note: Effective Disclosure

Eight submissions were received and amendments were incorporated into the final version of the updated guidance note.
Closed - with decision

19 December 2014

Consultation: Corporate Governance in New Zealand – Principles and Guidelines

Consultation: Corporate Governance in New Zealand – Principles and Guidelines handbook is intended as a reference guide for directors, executives and advisers, to help them decide how best to apply the nine key corporate governance principles.
Closed - with decision

1 December 2014

Consultation Paper: Fund update template and guidance for calculating risk indicators

Consultation Paper: Fund update template and guidance for calculating risk indicators. This consultation paper is for market participants that manage funds and for their supervisors and investors. Read more here.
Closed - with decision

3 November 2014

Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224

Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224. This paper gives an overview of the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
Closed - with decision

30 September 2014

Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act

Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act. 10 submissions were received. Many of the comments were incorporated into a guidance note, outlining our expectations for governance under Part 4 of the FMC Act.
Closed - with decision

28 August 2014

Consultation Paper: SIPOs and Limit Breaks

In August/September 2014, the FMA consulted on SIPOs and Limit Breaks. 21 submissions were received. A summary of the submission feedback can be downloaded here.

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